Forms & Applications

All the forms and applications you need to open new accounts, transfer assets, initiate rollovers, and more.

Form Name
403(b)(7) Custodial Agreement
For use with existing Principal Funds 403(b) accounts.
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403(b)(7) Distribution Request
Request a distribution from a 403(b)(7) account.
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72(t) Distribution
Establish 72(t) distributions for a Traditional IRA, Roth IRA, SIMPLE IRA, or SEP IRA.
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Account Application
Establish a non-retirement account (Individual, Transfer on Death, Joint, UTMA, or Trust/Corporation/Partnership/Other Entity).
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Automatic Exchange Election
Establish an automatic exchange of shares between funds in an account.
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Automatic Investment Plan
Establish automatic investments into a Principal Funds account from a checking or savings account.
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Beneficiary Designation
Add or change beneficiaries on a retirement account.
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Change of Dealer or Investment Representative
Update the broker/dealer and/or Investment Representative information on an account.
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Check Writing Privileges for Money Market Fund
Establish check writing privileges on a new or existing money market fund in a non-retirement account.
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Cost Basis Election Form
Use this form to change the cost basis election on an existing Non Qualified account.
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Direct Deposit Authorization Form
Establish a Direct Deposit plan to automatically deposit all or part of each paycheck, Social Security, or government agency payments, directly to a Principal Funds account.
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Education Savings Account (ESA) Application
Establish a Coverdell Education Savings Account (ESA).
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ESA Custodial Agreement (IRS Form 5305-EA)
Have clients review this document before establishing a Coverdell ESA, and keep a copy for their records.
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Education Savings Account (ESA) Distribution
Request a distribution from a Coverdell Education Savings Account (ESA).
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Education Savings Account (ESA) Transfer Request
Transfer a Coverdell Education Savings Account (ESA) from another institution to Principal Funds.
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Electronic Funds Transfer
Establish banking information on an account to facilitate electronic purchases and redemptions.
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IRA Application
Establish a Traditional or Roth IRA account.
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IRA Distribution
Request a non-mandatory distribution from a Traditional IRA, Roth IRA, SIMPLE IRA, or SEP IRA account.
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IRA Plan Document, Custody Agreement, & Account Disclosure Statement
Have clients review this document before establishing a Traditional IRA, Roth IRA, or SEP IRA, and keep it for their records.
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IRA Rollover Statement
Use this form when a client would like to roll over distributions from an existing IRA or qualified plan into a Principal Funds IRA.
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IRA Transfer/Direct Rollover Request
Use this form for a Trustee-to-Trustee Transfer/Rollover of a Traditional IRA, Roth IRA, or Rollover IRA from another institution to Principal Funds.
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Legal Name Change
Request a legal name change for an account.
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Non-IRA Transfer
Transfer a non-retirement Certificate of Deposit (CD), mutual fund, or other investment to Principal Funds.
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Non-Qualified Redemption Request
Request a one-time distribution from a non-retirement account.
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Power Of Attorney Affidavit
Establish a POA (Power of Attorney) or recertify an existing POA annually.
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Qualified Plan Application
Establish an investment-only employer-sponsored retirement plan, such as a 401(k), Profit-Sharing or Money Purchase Pension plan (for use by plan trustees).
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Qualified Plan Enrollment
Enroll in an employer’s investment-only retirement plan, such as a 401(k), Profit-Sharing or Money Purchase Pension plan (for use by plan participants).
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Registration Change
Change the registration of a non-retirement account, or transfer shares from one non-retirement account to another with a different registration.
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Required Minimum Distribution (RMD) Request
Request a Required Minimum Distribution from a Traditional IRA, SIMPLE IRA, SEP IRA, or 403(b)(7) account.
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Retirement Plan Beneficiary
Open a Beneficiary IRA or take distributions from an existing Beneficiary IRA.
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Retirement Plan Primary/Secondary Administrator Form
Add or update the Primary/Secondary Administrators on a Sponsor Service Center plan.
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Rights of Accumulation (ROA)/Statement of Intent (SOI)
Notify us of accounts eligible for linking under Rights of Accumulation (ROA), or establish a Statement of Intent (SOI).
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Roth IRA Conversion/Deconversion Application
Convert a Traditional IRA into a Roth IRA, or deconvert a Roth IRA into a Traditional IRA.
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SEP IRA Adoption Agreement
Establish a SEP IRA plan (for use by employers).
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SEP IRA Application
Establish a SEP IRA account (for use by plan participants).
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SEP IRA Employer Contribution
Submit initial employer contributions for participants in a SEP IRA (for use by employers).
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SEP IRA Transfer/Direct Rollover Request
Transfer a SEP IRA (or roll over a qualified plan) from another institution to a SEP IRA with Principal Funds.
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SIMPLE IRA Adoption Agreement (IRS Form 5304-SIMPLE)
Establish a SIMPLE IRA plan (for use by employers).
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SIMPLE IRA Application
Establish a SIMPLE IRA account (for use by plan participants).
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SIMPLE IRA Custodial Agreement (IRS Form 5305-SA)
Establish or amend salary deferral contributions to a SIMPLE IRA account.
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SIMPLE IRA Salary Deferral Agreement
Establish or amend salary deferral contributions to a SIMPLE IRA account.
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SIMPLE IRA Salary Deferral Contribution
Submit initial employer contributions for participants in a SIMPLE IRA plan (for use by employers).
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SIMPLE IRA Transfer Request
Transfer a SIMPLE IRA from another institution to a SIMPLE IRA with Principal Funds.
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Systematic Withdrawal Plan (SWP) Request
Establish systematic withdrawals from a Principal Funds non-retirement account to a checking or savings account.
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Transfer On Death Affidavit
Use this form to transfer ownership on an existing account registered as a Transfer on Death.
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Transfer On Death Registration Form
Establish a Transfer On Death (TOD) registration on a new or existing account.
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Trust or Business Authorized Trader Form
Grant online account authorization on a trust or corporate account.
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Trustee Certification and Indemnification
Use this form to certify trustees on a trust account.
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